seeking an approval to act as a mutual fund manager shall not possess any of the following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an
following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an offense relating to property committed with dishonest intent; (3) Having been an
director of the management company; (3) the appointee shall not hold any other position in the management company except where such position has either of the following characteristics: (a) not causing any
following characteristics: (a) not causing any conflicts of interest with management of funds, or (b) being the position of director or derivatives investment manager or the position under Clause 7 (2) (a
1/12 A foreign auditor having the characteristics and complying with the following rules shall be approved by the SEC Office to perform audit work and affix signature in giving opinions on the
characteristics: (1) not aiming to seek benefits through speculation; (2) mitigating risks for the overall investment of funds; (3) mitigating general risk and specific risk for the hedged assets; (4) mitigating
and Offering of Structured Notes. Clause 6 The application for an approval of offer for sale of bonds denominated in foreign currency under this Notification shall not have the following characteristics
Acts of Listed Companies Concerning the Connected Transactions B.E. 2546 dated 19 November 2003 (the “Connected Transactions Rules”). 3. General Characteristics, Class, and Size of the Transaction 3.1